Guidance for Industry

SUPAC-IR/MR: Immediate Release and

Modified Release Solid Oral Dosage Forms
Manufacturing Equipment Addendum

U.S. Department of Health and Human Services

Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
January 1999

CMC 9
Revision 1
Guidance for Industry
SUPAC-IR/MR: Immediate Release and
Modified Release Solid Oral Dosage Forms

Manufacturing Equipment Addendum

Additional copies are available from:

Office of Training and Communications

Division of Communications Management
Drug Information Branch, HFD-210
5600 Fishers Lane
Rockville, MD 20857
(Tel) 301-827-4573

(Internet) http://www.fda.gov/cder/guidance/index.htm

U.S. Department of Health and Human Services

Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
January 1999

CMC 9
Revision 1
 TABLE OF CONTENTS

I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

II. PARTICLE SIZE REDUCTION/SEPARATION . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

III. BLENDING AND MIXING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

IV. GRANULATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

V. DRYING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

VI. UNIT DOSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

VII. SOFT GELATIN CAPSULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

VIII. COATING/PRINTING/DRILLING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

i
 GUIDANCE FOR INDUSTRY 1

SUPAC-IR/MR: Immediate Release and Modified Release Solid Oral Dosage

Forms Manufacturing Equipment Addendum

I. INTRODUCTION

The purpose of this guidance is to provide recommendations to pharmaceutical manufacturers

using the Center for Drug Evaluation and Research's Guidance for Industry: Immediate Release
Solid Oral Dosage Forms — Scale-Up and Post-Approval Changes: Chemistry, Manufacturing
and Controls, In Vitro Dissolution Testing, and In Vivo Bioequivalence Documentation
(SUPAC-IR), which published in November 1995, and Guidance for Industry: SUPAC-MR:
Modified Release Solid Oral Dosage Forms Scale-Up and Post-Approval Changes: Chemistry,
Manufacturing and Controls; In Vitro Dissolution Testing and In Vivo Bioequivalence
Documentation, which published in October 1997. This document was developed by the U.S.
Food and Drug Administration (FDA) with the assistance of the International Society of
Pharmaceutical Engineering (ISPE). This document extends and supersedes the Manufacturing
Equipment Addendum published in October 1997 that covered only immediate release solid oral
dosage forms. The scope of this document is limited to only changes of equipment. If changes in
components and composition, site, scale, or process occur in addition to the equipment change,
then this should be considered a multiple change under SUPAC-IR and SUPAC-MR. For
modified release solid oral dosage forms, consideration should be given as to whether or not the
change in manufacturing equipment is critical to drug release (critical equipment variable).

The document should be used in conjunction with the SUPAC-IR and SUPAC-MR guidance
documents in determining what documentation should be submitted to FDA regarding equipment
changes made in accordance with the recommendations in these guidance documents. The
SUPAC guidance documents define (1) levels of change; (2) recommended chemistry,
manufacturing, and controls tests for each level of change; (3) in vitro dissolution tests and/or in
vivo bioequivalence tests for each level of change; and (4) documentation that should support the
change for new drug applications (NDAs) and abbreviated new drug applications (ANDAs).

This document is only an aid and, in some cases, specific equipment may not be listed. It does,
however, include a representative list of equipment commonly used in the industry. The guidance
does not address equipment that has been modified by a pharmaceutical manufacturer to fit its
specific needs. If questions arise in using this guidance document please contact the appropriate

1
This guidance has been prepared under the auspices of the Chemistry, Manufacturing, and Controls
Coordinating Committee in the Center for Drug Evaluation and Research (CDER) and the Office of Regulatory Affairs
(ORA) at the Food and Drug Administration with the assistance of the International Society of Pharmaceutical
Engineering (ISPE). This guidance represents the Agency's current thinking on equipment changes under SUPAC-IR
and SUPAC-MR. It does not create or confer any rights for or on any person and does not operate to bind the FDA or
the public. An alternative approach may be used if such approach satisfies the requirements of the applicable statute,
regulations or both.
reviewing office at CDER.

Although this guidance does not discuss validation, any equipment changes should be validated in
accordance with current good manufacturing practices (cGMPs) and the resulting data will be
subject to examination by field investigators during routine GMP inspections. The information is
presented in broad categories of unit operation (blending and mixing, drying, particle size
reduction/separation, granulation, unit dosage, coating and printing, soft gelatin capsule
encapsulation). Definitions and classification are provided. For each operation, a table is
presented that categorizes equipment by class (operating principle) and subclass (design
characteristic). Examples are given within the subclasses.

Equipment within the same class and subclass would be considered to have the same design and
operating principle under SUPAC-IR and SUPAC-MR. Therefore, for example, a change from
one type of diffusion mixer (e.g, V-blender from manufacturer A) to another diffusion mixer (e.g.,
V-blender from manufacturer B) generally would not represent a change in operating principle
and would, therefore, be considered to be the same under either SUPAC-IR or SUPAC-MR.

A change from equipment in one class to equipment in a different class would usually be
considered a change in design and operating principle. For example, a change from a V-blender
to a ribbon blender demonstrates a change in the operating principle from diffusion blending to
convection blending and would be considered to be different under either SUPAC-IR or SUPAC-
MR.

Applicants should carefully consider and evaluate on a case-by-case basis changes in equipment
that are in the same class, but different subclass. In many situations, this type of change in
equipment would be considered similar. For example, within the Blending and Mixing section,
under the Diffusion Mixers Class, a change from a V-blender (sub-class) to a Bin tumbler (sub-
class) represents a change within a class and between sub-classes. Provided the manufacturing
process with the new equipment is validated, this change would likely not need a pre-approval
supplement. The applicant should have available at the time of the change the scientific data and
rationale used to make this determination. This information is subject to FDA review at its
discretion. It is up to the applicant to determine the filing requirement.

This guidance will be updated as needed to reflect the introduction and discontinuation of specific
types of manufacturing equipment. Manufacturers of equipment are encouraged to help keep the
document current by communicating changes to the Agency and by making suggestions regarding
what equipment should be considered to be within the same class or subclass. The submitted
information will be reviewed by FDA and incorporated in an updated guidance document as
appropriate.

II. PARTICLE SIZE REDUCTION/SEPARATION

2
A. Definitions

1. Unit Operations

a. Particle Size Reduction: The mechanical process of breaking

particles into smaller pieces via one or more particle size reduction
mechanisms. The mechanical process used generally is referred to
as milling.

i. Particle - Refers to either a discrete particle or a grouping of

particles, generally known as an agglomerate.

ii. Particle Size Reduction Mechanisms

C Impact - Particle size reduction by applying an

instantaneous force perpendicular to the
particle/agglomerate surface. The force can result
from particle-to-particle or particle-to-mill surface
collision.

C Attrition - Particle size reduction by applying a force

in a direction parallel to the particle surface.

C Compression - Particle size reduction by applying a

force slowly (as compared to Impact) to the particle
surface in a direction toward the center of the
particle.

C Cutting - Particle size reduction by applying a

shearing force to a material.

b. Particle Separation: Particle size classification according to particle

size alone.

2. Operating Principles

a. Fluid Energy Milling

Particles are reduced in size as a result of high-speed particle-to-

particle impact and/or attrition; also known as micronizing.

b. Impact Milling

3
 Particles are reduced in size by high-speed mechanical impact or
impact with other particles; also known as milling, pulverizing, or
comminuting.

c. Cutting

Particles are reduced in size by mechanical shearing.

d. Compression Milling

Particles are reduced in sized by compression stress and shear

between two surfaces.

e. Screening

Particles are reduced in size by mechanically induced attrition

through a screen. This process commonly is referred to as milling
or deagglomeration.

f. Tumble Milling

Particles are reduced in size by attrition utilizing grinding media.

g. Separating

Particles are segregated based upon particle size alone and without
any significant particle size reduction. This process commonly is
referred to as screening or bolting.

B. Equipment Classifications

1. Fluid Energy Mills

Fluid energy mill subclasses have no moving parts and primarily are
distinguished from one another by the configuration and/or shape of their
chambers, nozzles, and classifiers.

C Tangential Jet
C Loop/Oval
C Opposed Jet
C Opposed Jet with Dynamic Classifier
C Fluidized Bed
C Fixed Target

4
 C Moving Target

2. Impact Mills

Impact mill subclasses primarily are distinguished from one another by the
configuration of the grinding heads, chamber grinding liners (if any), and
classifiers.

C Hammer Air Swept

C Hammer Conventional
C Pin/Disc
C Cage

3. Cutting Mills

Although cutting mills may differ from one another in whether the knives
are movable or fixed and in the classifier configuration, no cutting mill
subclasses have been identified.

4. Compression Mills

Although compression mills may differ from one another in whether one or
both surfaces are moving, no compression mill subclasses have been
identified.

5. Screening Mills

Screening mill subclasses primarily are distinguished from one another by

the rotating element.

C Rotating Impeller
C Rotating Screen
C Oscillating Bar

6. Tumbling Mills

Tumbling mill subclasses primarily are distinguished from one another by

the grinding media used and by whether the mill is vibrated.

C Ball Media
C Rod Media
C Vibrating

5
7. Separators

Separator subclasses primarily are distinguished from one another by the

mechanical means used to induce particle movement.

C Vibratory/Shaker
C Centrifugal

6
Table 1 Unit Operation - Particle Size Reduction

Class Subclass Examples

Fluid Energy Mills Tangential Jet Alpine (Hosokawa)

Fluid Energy Aljet
Jetpharma
Sturtevant

Loop/Oval Fluid Energy Aljet

Opposed Jet Garlock

Opposed Jet with Dynamic Classifier Alpine (Hosokawa)

Fluid Energy Aljet

Fluidized Bed None Identified

Fixed Target None Identified

Moving Target None Identified

Impact Mills Hammer Air Swept Alpine (Hosokawa)

Bepex (Hosokawa)
Sturtevant

Hammer Conventional Alpine (Hosokawa)

Fitzpatrick
Fluid Air
Mikro (Hosokawa)
Rietz (Hosokawa)
Stokes-Merrill

Pin/Disc Alpine (Hosokawa)

Kemutec
Sturtevant

Cage Stedman

Cutting Mills None Identified Alpine (Hosokawa)

Fitzpatrick
Urschel

Compression Mills None Identified MCA International

7
Table 1 Unit Operation - Particle Size Reduction (cont.)

Class Subclass Examples

Screening Mills Rotating Impeller Bepex (Hosokawa)

Fitzpatrick
Fluid Air
Jetpharma
Kemutec
Quadro
Stokes-Merrill
Zanchetta (Romaco)

Rotating Screen Glatt

Oscillating Bar Bepex (Hosokawa)

Frewitt
Jackson-Crockatt
Stokes-Merrill
Vector

Tumbling Mills Ball Media US Stoneware

Rod Media None Identified

Vibrating Sweco

Table 2 Unit Operation - Separation

Class Subclass Examples

Separators Vibratory/Shaker Allgaier

McLanahan
Rotex
Russell Finex
Sweco
VortiSiv

Centrifugal AZO
Kason
Kemutec
Sweco

8
III. BLENDING AND MIXING

A. Definitions

1. Unit Operations

Blending and Mixing: The reorientation of particles relative to one another

in order to achieve uniformity.

2. Operating Principles

a. Diffusion Blending (Tumble)

Particles are reoriented in relation to one another when they are

placed in random motion and interparticular friction is reduced as
the result of bed expansion (usually within a rotating container);
also known as tumble blending.

b. Convection Mixing

Particles are reoriented in relation to one another as a result of

mechanical movement; also known as paddle or plow mixing.

c. Pneumatic Mixing

Particles are reoriented in relation to one another as a result of the

expansion of a powder bed by gas.

B. Equipment Classifications

1. Diffusion Mixers (Tumble)

Diffusion mixer subclasses primarily are distinguished by geometric shape

and the positioning of the axis of rotation.

C V-blenders
C Double Cone Blenders
C Slant Cone Blenders
C Cube Blenders
C Bin Blenders
C Horizontal/Vertical/Drum Blenders
C Static Continuous Blenders
C Dynamic Continuous Blenders

9
2. Convection Mixers

Convection blender subclasses primarily are distinguished by vessel shape

and impeller geometry:

C Ribbon Blenders
C Orbiting Screw Blenders
C Planetary Blenders
C Forberg Blenders
C Horizontal Double Arm Blenders
C Horizontal High Intensity Mixers
C Vertical High Intensity Mixers
C Diffusion Mixers (Tumble) with Intensifier/Agitator

3. Pneumatic Mixers

Although pneumatic mixers may differ from one another in vessel

geometry, air nozzle type, and air nozzle configuration, no pneumatic
mixer subclasses have been identified.

10
Table 1 Unit Operation - Blending and Mixing

Class Subclass Examples

Diffusion Mixers V-Blenders Aaron

(Tumble) Paul O. Abbe
Gemco
Jaygo
Kemutec
Lleal
Lowe
O’Hara
Patterson-Kelley
Pneuvac
Zanchetta (Romaco)

Double Cone Blenders Aaron

Paul O. Abbe
Gemco
Jaygo
Kemutec
Lleal
Lowe
MO Industries
Patterson- Kelley
Pneuvac
ServoLift
Zanchetta (Romaco)

Slant Cone Blenders Gemco

Lleal
Patterson-Kelley

Cube Blenders Lightnin

ServoLift
Zanchetta (Romaco)

11
Table 1 Unit Operation - Blending & Mixing (cont.)

Class Subclass Examples

Diffusion Mixers (Tumble) Bin Blenders Paul O. Abbe

(cont.) L. B. Bohle
Cora International
CONSEP
Creative Design & Machine
Custom Metal Craft
GEI-Gallay (GEI International/Patriot)
Gemco
Glatt
Jenike & Johanson
Kemutec
Matcon, USA
Scholl (MO Industries)
ServoLift
Tote Systems
Zanchetta (Romaco)

Horizontal/Vertical/Drum Blenders Munson Mill Machinery

Static Continuous Blenders Ross

Dynamic Continuous Blenders Patterson-Kelley

Convection Mixers Ribbon Blenders Aaron

Paul O. Abbe
Automatic Industry Machines
Azo-Ruberg
Custom Metal Craft
Jaygo
Kemutec
Lowe
Pneuvac
Ross
Vrieco-Nauta (Hosokawa)

Orbiting Screw Blenders Aaron

Jaygo
Littleford Day
Ross
Vrieco-Nauta (Hosokawa)

12
Table 1 Unit Operation - Blending & Mixing (cont.)

Class Subclass Examples

Convection Mixers (cont.) Planetary Blenders Aaron

Aeschbach
AMF
GEI-Collette (GEI International)
Hobart
Jaygo
Littleford Day
Ross
Vrieco

Forberg Blenders Paul O. Abbe

Dynamic Air

Horizontal Double Arm Blenders Aaron

Paul O. Abbe
Custom Metal Craft
Dynamic Air
Jaygo
Kemutec
Littleford Day
Ross
Sigma
Teledyne Readco

Horizontal High Intensity Mixers Littleford Day

(Side Driven) Lodige
Processall

Vertical High Intensity Mixers Aeromatic-Fielder (GEA-Niro)

(Top or Bottom Driven) APV
Baker-Perkins
L.B. Bohle
Dierks & Shone
Diosna (Fluid Air)
GEI-Collette (GEI International)
Key International
Littleford Day
Lodige
Powrex (Glatt)
Processall
Werner & Pfeiderer
Zanchetta (Romaco)

Diffusion Mixers (Tumble) with Paul O. Abbe

Intensifier/Agitator Gemco
Patterson-Kelley

Pneumatic Mixers None Identified Dynamic Air

Reimelt

13
IV. GRANULATION

A. Definitions

1. Unit Operations

Granulation: The process of creating granules. The powder morphology is

modified through the use of either a liquid that causes particles to bind
through capillary forces or dry compaction forces. The process will result
in one or more of the following powder properties: enhanced flow;
increased compressibility; densification; alteration of physical appearance to
more spherical, uniform, or larger particles; and/or enhanced hydrophilic
surface properties.

2. Operating Principles

a. Dry Granulation

Dry powder densification and/or agglomeration by direct physical

compaction.

b. Wet High-Shear Granulation

Powder densification and/or agglomeration by the incorporation of

a granulation fluid into the powder with high-power-per-unit mass,
through rotating high-shear forces.

c. Wet Low-Shear Granulation

Powder densification and/or agglomeration by the incorporation of

a granulation fluid into the powder with low-power-per-unit mass,
through rotating low-shear forces.

d. Low-Shear Tumble Granulation

Powder densification and/or agglomeration by the incorporation of

a granulation fluid into the powder with low-power-per-unit mass,
through rotation of the container vessel and/or intensifier bar.

e. Extrusion Granulation

Plasticization of solids or wetted mass of solids and granulation

fluid with linear shear through a sized orifice using a pressure

14
 gradient.

f. Rotary Granulation

Spheronization, agglomeration, and/or densification of a wetted or

non-wetted powder or extruded material. This is accomplished by
centrifugal or rotational forces from a central rotating disk, rotating
walls, or both. The process may include the incorporation and/or
drying of a granulation fluid.

g. Fluid Bed Granulation

Powder densification and/or agglomeration with little or no shear

by direct granulation fluid atomization and impingement on solids,
while suspended by a controlled gas stream, with simultaneous
drying.

h. Spray Dry Granulation

A pumpable granulating liquid containing solids (in solution or

suspension) is atomized in a drying chamber and rapidly dried by a
controlled gas stream, producing a dry powder.

B. Equipment Classification

1. Dry Granulator

Dry granulator subclasses primarily are distinguished by the densification

force application mechanism.

C Slugging
C Roller Compaction

2. Wet High-Shear Granulator

Wet high-shear granulator subclasses primarily are distinguished by the

geometric positioning of the primary impellers; impellers can be top,
bottom, or side driven.

C Vertical (Top or Bottom Driven)

C Horizontal (Side Driven)

3. Wet Low-Shear Granulator

15
 Wet low-shear granulator subclasses primarily are distinguished by the
geometry and design of the shear inducing components; shear can be
induced by rotating impeller, reciprocal kneading action, or convection
screw action.

C Planetary
C Kneading
C Screw

4. Low-Shear Tumble Granulator

Although low-shear tumble granulators may differ from one another in

vessel geometry and type of dispersion or intensifier bar, no low-shear
tumble granulator subclasses have been identified.

5. Extrusion Granulator

Extrusion granulator subclasses primarily are distinguished by the

orientation of extrusion surfaces and driving pressure production
mechanism.

C Radial or Basket
C Axial
C Ram
C Roller, Gear, or Pelletizer

6. Rotary Granulator

Rotary granulator subclasses primarily are distinguished by their structural

architecture. They have either open top architecture, such as a vertical
centrifugal spheronizer, or closed top architecture, such as a closed top
fluid bed dryer.

C Open
C Closed

7. Fluid Bed Granulator

Although fluid bed granulators may differ from one another in geometry,
operating pressures, and other conditions, no fluid bed granulator
subclasses have been identified.

8. Spray Dry Granulator

16
 Although spray dry granulators may differ from one another in geometry,
operating pressures, and other conditions, no spray dry granulator
subclasses have been identified.

Note:
If a single piece of equipment is capable of performing multiple discrete unit operations (mixing,
granulating, drying), the unit was evaluated solely for its ability to granulate. If multifunctional
units were incapable of discrete steps (fluid bed granulator/drier), the unit was evaluated as an
integrated unit.

17
Table 1 Unit Operation - Granulation

Class Subclass Examples

Dry Granulator Slugging Various
Roller Compaction Alexanderwerk
Bepex (Hosokawa)
Fitzpatrick
Freund
Vector
Wet High-Shear Granulator Horizontal Littleford Day
(Side Driven) Lodige
Processall
Vertical Aeromatic-Fielder (GEA-Niro)
(Top or Bottom Driven) APV
Baker-Perkins
L.B. Bohle
Dierks & Shone
Diosna (Fluid Air)
GEI-Collette (GEI International)
Key International
Littleford Day
Lodige
Powrex (Glatt)
Processall
Werner & Pfeiderer
Zanchetta (Romaco)
Wet Low-Shear Granulator Planetary Aaron
Aeschbach
AMF
GEI-Collette (GEI International)
Hobart
Jaygo
Littleford Day
Ross
Vrieco
Kneading Aaron
Paul O. Abbe
Custom Metal Craft
Dynamic Air
Jaygo
Kemutec
Littleford Day
Processall
Ross
Sigma
Teledyne Readco
Screw Vrieco-Nauta (Hosokawa)

18
Table 1 Unit Operation - Granulation (cont.)

Class Subclass Examples

Low-Shear Tumble Granulator Slant Cone, or Double Cone, or V- Paul O. Abbe
Blender Gemco
Patterson-Kelley
Extrusion Granulator Radial or Basket Alexanderwerk
GEA Niro
LCI
Luwa
Ross
Axial Bepex (Hosokawa)
Gabler
LCI
Ram LCI
Roller, Gear, or Pelletizer Alexanderwerk
Bepex (Hosokawa)
Rotary Granulator Open Freund (Vector)
GEA Niro
LCI
Luwa
Closed Aeromatic-Fielder (GEA Niro)
Glatt
LCI
Processall
Vector
Fluid Bed Granulator None Identified Aeromatic-Fielder (GEA Niro)
APV
BWI Hüttlin (Thomas Engineering)
Diosna
Fitzpatrick
Fluid Air
Glatt
Heinen
Vector
Spray Dry Granulator None Identified Allgaier
GEA Niro
Glatt
Heinen

19
V. DRYING

A. Definitions

1. Unit Operation

Drying: The removal of a liquid from a solid by evaporation.

2. Operating Principles

a. Direct Heating, Static Solids Bed

Heat transfer is accomplished by direct contact between the wet

solids and hot gases. The vaporized liquid is carried away by the
drying gases. There is no relative motion among solid particles.
The solids bed exists as a dense bed, with the particles resting upon
one another.

b. Direct Heating, Moving Solids Bed

Heat transfer is accomplished by direct contact between the wet

solids and hot gases. The vaporized liquid is carried away by the
drying gases. Solids motion is achieved by either mechanical
agitation or gravity force, which slightly expands the bed enough to
flow one particle over another.

c. Direct Heating, Fluidized Solids Bed

Heat transfer is accomplished by direct contact between the wet

solids and hot gases. The vaporized liquid is carried away by the
drying gases. The solids are in an expanded condition, with the
particles supported by drag forces caused by the gas phase. The
solids and gases intermix and behave like a boiling liquid. This
process commonly is referred to as fluid bed drying.

d. Direct Heating, Dilute Solids Bed, Spray Drying

Heat transfer is accomplished by direct contact between a highly

dispersed liquid and hot gases. The feed liquid may be a solution,
slurry, emulsion, gel or paste, provided it is pumpable and capable
of being atomized. The fluid is dispersed as fine droplets into a
moving stream of hot gases, where they evaporate rapidly before
reaching the wall of the drying chamber. The vaporized liquid is

20
 carried away by the drying gases. The solids are fully expanded and
so widely separated that they exert essentially no influence on one
another.

e. Direct Heating, Dilute Solids Bed, Flash Drying

Heat transfer is accomplished by direct contact between wet solids

and hot gases. The solid mass is suspended in a finely divided state
in a high-velocity and high-temperature gas stream. The vaporized
liquid is carried away by the drying gases.

f. Indirect Conduction, Moving Solids Bed

Heat transfer to the wet solid is through a retaining wall. The

vaporized liquid is removed independently from the heating
medium. Solids motion is achieved by either mechanical agitation
or gravity force, which slightly expands the bed enough to flow one
particle over another.

g. Indirect Conduction, Static Solids Bed

Heat transfer to the wet solid is through a retaining wall. The

vaporized liquid is removed independently from the heating
medium. There is no relative motion among solid particles. The
solids bed exists as a dense bed, with the particles resting upon one
another.

h. Indirect Conduction, Lyophilization

Drying in which the water vapor sublimes from the product after
freezing.

i. Gas Stripping

Heat transfer is a combination of direct and indirect heating. The

solids motion is achieved by agitation and the bed is partially
fluidized.

j. Indirect Radiant, Moving Solids Bed

Heat transfer is accomplished with varying wavelengths of energy.

Vaporized liquid is removed independently from the solids bed.
The solids motion is achieved by mechanical agitation, which

21
 slightly expands the bed enough to flow one particle over one
another. This process commonly is referred to as microwave
drying.

B. Equipment Classifications

1. Direct Heating, Static Solids Bed

Static solids bed subclasses primarily are distinguished by the method of

moving the solids into the dryer.

C Tray and Truck

C Belt

2. Direct Heating, Moving Solids Bed

Moving solids bed subclasses primarily are distinguished by the method or

technology for moving the solids bed.

C Rotating Tray
C Horizontal Vibrating Conveyor

3. Direct Heating, Fluidized Solids Bed (Fluid Bed Dryer)

Although fluid bed dryers may differ from one another in geometry,
operating pressures, and other conditions, no fluidized solids bed dryer
subclasses have been identified.

4. Direct Heating, Dilute Solids Bed, Spray Dryer

Although spray dryers may differ from one another in geometry, operating
pressures, and other conditions, no spray dryer subclasses have been
identified.

5. Direct Heating, Dilute Solids Bed, Flash Dryer

Although flash dryers may differ from one another in geometry, operating
pressures, and other conditions, no flash dryer subclasses have been
identified.

6. Indirect Conduction Heating, Moving Solids Bed

Moving solids bed subclasses primarily are distinguished by the method or

22
 technology for moving the solids bed.

C Paddle
C Rotary (Tumble)
C Agitation

7. Indirect Conduction Heating, Static Solids Beds

No indirect heating, static solids bed shelf dryer subclasses have been
identified.

8. Indirect Conduction, Lyophilization

No lyophilizer subclasses have been identified.

9. Gas Stripping

Although gas stripping dryers may differ from one another in geometry,
shape of agitator, and how fluidizing gas is moved through the bed, no gas
stripping dryer subclasses have been identified.

10. Indirect Radiant Heating, Moving Solids Bed (Microwave Dryer)

Although microwave dryers may differ from one another in vessel

geometry and the way microwaves are directed into the solids, no indirect
radiant heating, moving solids bed dryer subclasses have been identified.

Note:
If a single piece of equipment is capable of performing multiple discrete unit operations (mixing,
granulating, drying), the unit was evaluated solely for its ability to dry. The drying equipment was
sorted into similar classes of equipment, based upon the method of heat transfer and the dynamics
of the solids bed.

23
Table 1 Unit Operation - Drying

Class Subclass Examples

Direct Heating, Static Solids Bed Tray and Truck Colton

Despatch
Gruenberg
Hot Pack
Lydon
O’Hara
Proctor & Schwartz
Trent

Belt Despatch
Proctor & Schwartz

Direct Heating, Moving Solids Bed Rotating Tray Krauss Maffei

Wyssmont

Horizontal Vibrating Conveyor Carrier

Witte

Direct Heating, Fluidized Solids Bed None Identified Aeromatic-Fielder (GEA-Niro)

(Fluid Bed Dryer) APV
BWI Hüttlin (Thomas Engineering)
Diosna
Fitzpatrick
Fluid Air
Glatt
Heinen
Vector

Direct Heating, Dilute Solids Bed, None Identified Allgaier

Spray Dryer APV
BWI Hüttlin (Thomas Engineering)
GEA-Niro
Glatt

Direct Heating, Dilute Solids Bed, None Identified Allgaier

Flash Dryer APV
GEA-Niro
Micron (Hosokawa)

24
Table 1 Unit Operation - Drying (cont.)

Class Subclass Examples

Indirect Conduction, Moving Solids Paddle Bepex (Hosokawa)

Bed Jaygo
Littleford Day
Processall

Rotary (Tumble) Paul O. Abbe

Gemco
Glatt
Littleford Day
Patterson-Kelley
Processall
Zanchetta (Romaco)

Agitation L. B. Bohle
Diosna
GEI-Collette (GEI International)
Krauss-Maffei
Processall
Vrieco-Nauta (Hosokawa)
Zanchetta (Romaco)

Indirect Conduction, Static Solids None Identified Hull

Bed

Indirect Conduction, Lyophilization None Identified Amsco

Hull
Serail
Stokes

Gas Stripping None Identified Aeromatic-Fielder (GEA-Niro)

L.B. Bohle
Diosna (Fluid Air)
GEI-Collette (GEI International)
Processall
Zanchetta (Romaco)

Indirect Radiant Heating, Moving None Identified Aeromatic-Fielder (GEA-Niro)

Solids Bed (Microwave Dryer) L. B. Bohle
Diosna
GEI-Collette (GEI International)

25
VI. UNIT DOSING

A. Definitions

1. Unit Operation

Unit Dosing: The division of a powder blend into uniform single portions
for delivery to patients.

2. Operating Principles

a. Tabletting

The division of a powder blend in which compression force is

applied to form a single unit dose.

b. Encapsulating

The division of material into a hard gelatin capsule. Encapsulators

should all have the following operating principles in common:
rectification (orientation of the hard gelatin capsules), separation of
capsule caps from bodies, dosing of fill material/formulation,
rejoining of caps and bodies, and ejection of filled capsules.

c. Powder Filling

Division of a powder blend into a container closure system.

B. Equipment Classifications

1. Tablet Press

Tablet press subclasses primarily are distinguished from one another by the
method that the powder blend is delivered to the die cavity. Tablet presses
can deliver powders without mechanical assistance (gravity), with
mechanical assistance (power assisted), by rotational forces (centrifugal),
and in two different locations where a tablet core is formed and
subsequently an outer layer of coating material is applied (compression
coating).

C Gravity
C Power Assisted
C Centrifugal

26
 C Compression Coating

2. Encapsulator

Encapsulator subclasses primarily are distinguished from one another by

the method that is used for introducing material into the capsule.
Encapsulators can deliver materials with a rotating auger, vacuum,
vibration of perforated plate, tamping into a bored disk (dosing disk), or
cylindrical tubes fitted with pistons (dosator).

C Auger
C Vacuum
C Vibratory
C Dosing Disk
C Dosator

3. Powder Filler

Subclasses of powder fillers primarily are distinguished by the method used

to deliver the predetermined amount for container fill.

C Vacuum
C Auger

27
Table 1 Unit Dosing

Class Subclass Examples

Tablet Press Gravity Colton (Vector)

Manesty (Thomas Engineering)
Stokes

Power Assisted Colton (Vector)

Courtoy (AC Compacting)
Fette
Hata (Elizabeth Carbide)
Kikusui
Kilian
Manesty (Thomas Engineering)

Centrifugal Comprima (IMA)

Compression Coating Manesty (Thomas Engineering)

Kikusui
Kilian

Encapsulator Auger Capsugel Type B

Elanco No. 8

Vacuum Perry

Vibratory Osaka (Sharpley-Stokes)

Dosing Disk H&K/ Bosch

Index

Dosator Macofar (Romaco)

MG2
Zanasi/Pharmatic/IMA

Powder Filler Vacuum Bosch

Perry
Zanasi

Auger All-Fill
Calumatic

28
VII. SOFT GELATIN CAPSULES

A. Definitions

1. Unit Operations

a. Gel Mass Preparation: The manufacture of a

homogeneous, degassed liquid mass (solution) of
gelatin, plasticizer, water, and other additives, either in
solution or suspension, such as colorants, pigments,
flavors, preservatives, etc., that comprise a unique
functional gel shell formation. The operation may be
performed in discreet steps or by continuous
processing. Minor components can be added after the
liquid gel mass is made.

b. Fill Mixing: The mixing of either liquids or solids with other liquids
to form a solution; blending of limited solubility solid(s) with a
liquid carrier and suspending agents used to stabilize the blend to
form a suspension; or the uniform combination of dry inert and
drug active substances to form a dry powder fill suitable for
encapsulation. The reader should refer to the other sections of this
document for dry fill manufacture.

c. Core Enrobing: The gelatin coating of gravity or force fed pre-

formed tablets or caplets.

d. Encapsulation: The continuous casting of gel ribbons, with liquid

fill material being injected between the gel ribbons using a positive
displacement pump or, for dry materials being gravity or force fed
with capsule formation using a rotary die.

e. Washing: The continuous removal of a lubricant material from the

outside of the formed capsule. The washing operation is unique to
each manufacturer's operation and generally uses in-house
fabricated equipment. This equipment will not be discussed in this
guidance document.

f. Drying: The removal of the majority of water from the capsule's

gel shell by tumbling and subsequent tray drying using conditioned
air, which enhances the size, shape, and shell physical properties of
the final product. The drying operation is unique to each
manufacturer's operation and generally uses in-house fabricated

29
 equipment. This equipment will not be discussed in this guidance
document.

g. Inspection/Sorting: The process wherein undesirable capsules are

removed, including misshapen, leaking, and unfilled capsules as well
as agglomerates of capsules.

h. Printing: The marking of a capsule surface for the purpose of

product identification, using a suitable printing media or method.

2. Operating Principles

a. Mixing

The combination of solid and liquid components, including

suspending aid(s) at either ambient or elevated temperatures to
form a solution, suspension, or dry powder blend for the
manufacture of gel mass or fill material. Mixing also includes the
incorporation of minor components into the liquid gel mass.

b. Deaggregation

The removal of aggregates using a suitable homogenizer/mill to

provide a pumpable fill material. The procedure has minimal effect
on the particle size distribution of the initial solid component(s),
and is viewed as a processing aid.2

c. Deaeration

The removal of entrapped air from either the gel mass or fill
material, solution or suspension. This process can take place in
either the mixing vessel, through the application of vacuum, or a
separate off-line step.

d. Holding

The storage of liquid gel mass or fill material in a vessel, with a

mixer or without, prior to encapsulation, which also may be
equipped with a jacket for either heating or cooling.

2
Carstensen, J. T., “Theory of Pharmaceutical Systems, Volume 11 Heterogeneous Systems," Academic Press,
New York, NY, 1973, p 51.

30
 e. Encapsulation

The formation of capsules using a rotary die machine.3

f. Inspection/Sorting

The physical removal of misshapen, leaking, or agglomerated

capsules, using either a manual or automatic operation.

g. Printing

The user of this document is asked to refer to the coating/printing

section, in which the use of various pieces of equipment are defined
and categorized.

B. Equipment Classifications

1. Mixers and Mixing Vessels

Mixer and mixing vessel subclasses primarily are distinguished by the

mixing energy, mixer type, and whether a jacketed vessel with vacuum
capabilities is used in conjunction with a specific mixer.

C Low Energy Mixer

C High Energy Mixer
C Planetary
C Jacketed Vessel With and Without Vacuum
C Conventional

2. Deaggregators

Deaggregator subclasses primarily are distinguished by the type of

mechanical action imparted to the material.

C Rotor/Stator

3
Lachman, L., H. A. Lieberman, and J. L. Kanig (Eds.), The Theory and Practice of Industrial Pharmacy,
Chapter 3, p. 359 (Stanley, J. P.), Philadelphia: Lea & Febiger, 1971.

Tyle, P. (Ed.), Specialized Drug Delivery Systems, Manufacturing and Production Technology, Chapter 10, p. 409
(Wilkinson, P.K.and F.S. Hom), New York: M. Dekker, 1990.

Porter, S., Remington’s Pharmaceutical Sciences, Edition 18, Chapter 89, pp. 1662 - 1665, Easton, Penn.: Mack
Publishing Co.

31
 C Roller
C Cutting Mills
C Stone Mills
C Tumbling Mills

3. Deaerators

Deaerator subclasses primarily are distinguished by the air removal path,

either through the bulk or through a thin film, and whether it is a batch or
in-line process.

C Vacuum Vessel
C Off Line/In Line

4. Holding Vessels

Although holding vessels may differ from one another, based upon whether
they are jacketed, with and without integrated mixing capabilities, no
holding vessel subclasses have beeen identified.

5. Encapsulators

Encapsulator subclasses primarily are distinguished by the method used to

inject the fill material.

C Positive Displacement Pump

C Gravity or Force Fed

6. Inspection/Sorting

Inspection/sorting equipment subclasses primarily are distinguished by the

method used to present the capsule for viewing and mechanical method of
separation.

C Belt
C Vibratory
C Roller
C Rotary Table
C Electromechanical

32
Table 1 Unit Operation - Soft Gelatin Capsules

Class Subclass Examples

Mixers and Mixing Vessels Low Energy GEI-Collette (GEI International)

GEI-Kreiger (GEI International)
Hobart
Koruma (Romaco)
Lightnin
Moorhouse-Cowles
Quadro

High Energy Cowles

GEI-Collette (GEI International)
Koruma (Romaco)

Planetary Aaron
Aeschbach
AMF
GEI-Collette (GEI International)
Hobart
Jaygo
Littleford Day
Ross
Vrieco

Jacketed with and without Vacuum Becomix

Fryma
GEI-Kreiger (GEI International)
Hicks
Lee Industries
Paul Mueller Co.
Ross
Koruma (Romaco)

Conventional Lee Industries

33
Table 1 Unit Operation - Soft Gelatin Capsules (cont.)

Class Subclass Examples

Deaggregators Rotor Stator Barinco

Greerco
Koruma (Romaco)

Roller Stokes-Merrill

Cutting Mills Alpine(Hosokawa)

Fitzpatrick
Urschel

Stone Mills Fryma

Koruma (Romaco)

Tumbling Mills Paul O. Abbe

Fryma
Premier Corp.
U.S. Stoneware

Deaerators Vacuum Vessel Fryma

GEI-Kreiger (GEI International)
Koruma (Romaco)
Lee Industries
Paul Mueller Co.
Processall

Off Line/In Line The Cornell Machine Co.

Fryma
Koruma (Romaco)

Holding Vessels Jacketed Vessel with and without GEI-Kreiger (GEI International)
Mixing System Koruma (Romaco)
Lee Industries

34
Table 1 Unit Operation - Soft Gelatin Capsules (cont.)

Class Subclass Examples

Encapsulators Positive Displacement Pump Chang Sung

Gaberino International Consultants
Higuchi, Inc. USA
Hypak Industries
In House Construction
J.B. Engineering
Technopar Equipment & Svcs., Ltd

Gravity or Force Feed Accogel® (Stern Machine)

Inspection/Sorting Belt Lakso

Merrill

Vibratory Stokes

Roller Maschimpex

Rotary Table Lakso

Merrill

ElectroMechanical Mocon

35
VIII. COATING/PRINTING/DRILLING

A. Definitions

1. Unit Operation

a. Coating: The uniform deposition of a layer of material on or

around a solid dosage form, or component thereof, to:

C protect the drug from its surrounding environment (air,

moisture, and light), with a view to improving stability.
C mask unpleasant taste, odor, or color of the drug.
C increase the ease of ingesting the product for the patient.
C impart a characteristic appearance to the tablets, which
facilitates product identification and aids patient compliance.
C provide physical protection to facilitate handling. This
includes minimizing dust generation in subsequent unit
operations.
C reduce the risk of interaction between incompatible
components. This would be achieved by coating one or
more of the offending ingredients.
C modify the release of drug from the dosage form. This
includes delaying, extending, and sustaining drug substance
release.

The coating material deposition typically is accomplished through

one of four major techniques:

1. Sugar Coating - Deposition of coating material onto the

substrate from aqueous solution/suspension of coatings,
based predominately upon sucrose as a raw material.
2. Film Coating - The deposition of polymeric film onto the
solid dosage form.
3. Microencapsulation - The deposition of a coating material
onto a particle, pellet, granule, or bead core. The substrate
in this application ranges in size from submicron to several
millimeters. It is this size range that differentiates it from
the standard coating described in 1 and 2 above.
4. Compression Coating (This topic is addressed in the Unit
Dosing section.)

b. Printing: The marking of a capsule or tablet surface for the purpose

of product identification. Printing may be accomplished by either

36
 the application of a contrasting colored polymer (ink) onto the
surface of a capsule or tablet, or by the use of laser etching.

The method of application, provided the ink formulation is not

altered, is of no consequence to the physical-chemical properties of
the product.

c. Drilling: The drilling or ablating of a hole or holes through the

polymeric film coating shell on the surfaces of a solid oral dosage
form using a laser. The polymeric film shell is not soluble in vivo.
The hole or holes allow for the modified release of the drug from
the core of the dosage form.

2. Operating Principles

a. Pan Coating

The uniform deposition of coating material onto the surface of a

solid dosage form, or component thereof, while being translated via
a rotating vessel.

b. Gas Suspension

The application of a coating material onto a solid dosage form, or

component thereof, while being entrained in a process gas stream.

Alternatively, this may be accomplished simultaneously by spraying

the coating material and substrate into a process gas stream.

c. Vacuum Film Coating

This technique uses a jacketed pan equipped with a baffle system.

Tablets are placed into the sealed pan, an inert gas (i.e. nitrogen) is
used to displace the air and then a vacuum is drawn.

d. Dip Coating

Coating is applied to the substrate by dipping it into the coating

material. Drying is accomplished using pan coating equipment.

e. Electrostatic Coating

A strong electrostatic charge is applied to the surface of the

37
 substrate. The coating material containing oppositely charged ionic
species is sprayed onto the substrate.

f. Compression Coating

Refer to the Unit Dosing section of this document.

g. Ink-Based Printing

The application of contrasting colored polymer (ink) onto the

surface of a tablet or capsule.

h. Laser Etching

The application of identifying markings onto the surface of a tablet

or capsule using laser-based technology.

i. Drilling

A drilling system typically is a custom built unit consisting of a

material handling system to orient and hold the solid dosage form, a
laser (or lasers), and optics (lenses, mirrors, deflectors, etc.) to
ablate the hole or holes, and controls. The drilling unit may include
debris extraction and inspection systems as well. The sorting,
orienting, and holding equipment commonly is provided by dosage
form printing equipment manufacturers, and is considered ancillary
in this use.

B. Equipment Classification

1. Pan Coating

Pan coating subclasses primarily are distinguished by the pan configuration,

the pan perforations, and/or the perforated device used to introduce
process air for drying purposes. Perforated coating systems include both
batch and continuous coating processes.

C Conventional Coating System

C Perforated Coating System

2. Gas Suspension

Gas suspension subclasses primarily are distinguished by the method

38
 by which the coating is applied to the substrate.

C Fluidized Bed
C Spray Congealing/Drying

3. Vacuum Film Coating

Although there may be differences in the jacketed pan, baffle system, or

vacuum source, no vacuum film coating subclasses have been identified.

4. Dip Coating

Because of the custom design associated with this class of coating, no dip
coating subclasses or examples have been identified.

5. Electrostatic Coating

Because of the custom design associated with this class of coating, no

electrostatic coating subclasses or examples have been identified.

6. Compression Coating

Refer to the Unit Dosing section of this document.

7. Ink-Based Printing

Ink-based printing subclasses primarily are distinguished by the method by

which the marking is applied to a capsule or tablet surface.

C Offset
C Ink Jet

8. Laser Etching (Printing)

Although laser etching systems may differ from one another, no laser
etching subclasses have been identified.

9. Drilling

The method of producing the laser pulse that ablates the hole(s) is of no
consequence to the physical-chemical properties of the product. Therefore,
no dosage form drilling equipment subclasses have been identified.

39
Table 1 Unit Operation - Coating Equipment

Class Subclass Examples

Pan Coating Conventional Coating Bruck

System O’Hara
Pellegrini
Stokes-Merrill

Perforated Coating System BWI Hüttlin (Thomas Engineering)

Driam
Glatt
GS Coating Systems
Nicomac
O’Hara
Raymond
Strunck
Thomas Engineering
Vector

Gas Suspension Fluidized Bed Aeromatic-Fielder (GEA Niro)

BWI Hüttlin (Thomas Engineering)
Fluid Air
Glatt
Vector

Spray Congealing/Drying Allgaier

APV
BWI Hüttlin (Thomas Engineering)
GEA-Niro
Glatt

Vacuum Film Coating None Identified Glatt

Dip Coating None Identified None Identified

Electrostatic Coating None Identified None Identified

40
Table 2 Unit Operation - Printing Equipment

Class Subclass Examples

Ink-Based Printing Off Set Ackley

Hartnett
Markem
Takeda

Ink Jet Image

Linx

Laser Etching (Printing) None Identified Lumonics

Table 3 Unit Operation - Drilling Equipment

Class Subclass Examples

Laser Drilling None Identified Convergent Energies

Coherent
The Automation Partner
Lumonics

41